This comprehensive course, delivered online, in-house or in-person, provides in-depth, online and classroom-style training focused on developing leaders in our industry. This is not a program on fundamentals, it is a deep-dive into how to lead, evaluate and sustain high quality ethics and compliance programs. We would like you to think of it as the “next level” of your ethics and compliance education. You will complete the course with a better understanding of your role, or the role you aspire to, but you will also gain a distinguished list of colleagues equally committed to our industry.

Completion of E2C qualifies you to take the Leadership Professional in Ethics & Compliance (LPEC) certification examination and obtain the LPEC designation.

About E2C

  • E2C has the flexibility to fit your busy schedule with multiple delivery options including online, in-person or in-house.
  • E2C sets the standard for the ideal balance of ethics, culture-building, and law/compliance.
  • With only two to four instructors per course, E2C sessions are fully integrated and build on each other to create a cohesive, comprehensive program.
  • All E2C instructors are highly recognized leaders in the E&C profession, each with decades of experience
  • Emphasizing the value of peer-to-peer learning, each E2C session features facilitated, small-group dialogue and sharing

Online

E2C Online (includes all course materials, LPEC exam fee additional): $995
ECI member discount: $795
Call for government/NGO pricing: 703-647-2185.

2018 Upcoming Online Courses

  • Course starts Thursdays, August 9, 2018 to September 13, 2018 – All times are from noon-1p.m. eastern standard time** Class is full.
  • Next course starts Thursdays, October 11, 2018. Register now.

Course dates:
Thursdays, October 11, 2018 noon-1:30 p.m.
October 18, 2018 noon-1:15 p.m.
October 25th noon-1:15 p.m.
November 1st noon-1:15 p.m.
November 8th noon-1:15 p.m.
November 15th noon-115 p.m.**All times are eastern standard time**

LPEC Exam: Tuesday November 20, 2018 noon-2p.m. eastern standard time

In-house

Customize for Your Organization!
Interested in learning more about customizable in-house opportunities?
Contact certification@ethics.org or call 703-647-2185.

For more information, including upcoming E2C dates and registration, certification@ethics.org.

Session 1 – Introduction (90 minutes)

Logistics
Organization of the content
Course overview
Introduction to ECI’s five principles of High Quality E&C Programs (HQP)
Understanding HQP’s link to the FSG and OECD and ISO standards
Applying the five HQP Principles
1. E&C is central to business strategy – ability to make a business case utilizing the supporting objectives.

2. E&C risks are identified, owned, managed and mitigated – understanding the tools and activities necessary to compete for executive and board attention

3. Leaders at all levels across the organization build and sustain a culture of integrity – understanding, engaging and presenting the power of culture utilizing the C-suite, executives and managers.

4. The organization encourages, protects and values the reporting of concerns and suspected wrongdoing – alignment of tone and policy; training and leveraging middle managers, developing consideration for all stakeholders (including third-parties) of the organization.

5. The organization takes action and holds itself accountable when wrongdoing occurs – how to report, define, investigate, resolve and contain misconduct.

Discuss the Fundamental elements of an ethics and compliance program
How do I lead and interact and with these elements?
How do I evaluate the efficacy of my elements?
Benchmarking
KPI
Analysis
Communicating E&C’s value and promoting operational performance
HR, Legal, Privacy, Audit, Sales & Marketing, Procurement, Corporate Responsibility, Government Affairs, Finance & Accounting, Information Security / IT, Investor Relations, Line Management, Senior Management, Board of Directors

Impact of Effective E&C Programs (ECI Research)
Value of Effective CECO to Business
Scope of an effective CECO’s role & areas outside of E&C that are important to know about
Challenge of Building & Sustaining an HQP
Effective Leadership
Qualities of good leaders
Defining the role of the CECO (ECI Research findings)

Session 2 – Strategic E&C (60 minutes)

Overview of HQP Principle 1:E&C as central to business strategy
The Role of the Chief Ethics & Compliance Officer

Defining the organization’s compliance vision and strategy
Assessing a Code of Conduct
Developing consistency with the letter and spirit of law, organization’s core values, and universal ethical principles
Relevance to employees’ jobs
Clarity about what employees should do in specific situations
Readability and cultural-appropriateness

Relationship between Ethics & Compliance and function that manages policies
Which policies are “owned” by E&C?
Which policies apply only to employees and which apply to everyone (e.g., contractors, agents)?
Readability and cultural-appropriateness
Assisting senior management in its oversight of the organization’s compliance program
Monitoring and evaluating the proper functioning and effectiveness of the compliance program
Understanding business strategy
Positioning E&C inside the mind of the C-Suite
Connecting E&C to the business
Strategic Planning
Key business documents & C-suite activities every CECO should pay attention to
Establishing and Maintaining Critical CECO Internal Relationships
The CECO’s relationships to peer functions within the organization
The CECO’s relationships with the business units & divisions
The CECO’s relationship with business staff: sales, development, R&D, etc.
The CECO’s relationship with the governing bodies (C-Suite, board)

Session 3 – Identifying & Mitigating Risk

Overview of HQP Principle 2: E&C risks are identified, owned, managed and mitigated
Components and tactical understanding of the ERM process
Understanding the basic elements of ERM programs
Assessing risk and developing a repeatable process to establish risk levels
Identifying, analyzing and prioritizing risks
Defining the necessary countermeasures to mitigate risk
Understanding the cost/benefit analysis of countermeasures
Devising a governance structure for oversight – with responsibility for escalation
Review of information systems to support decisions, monitoring and communication
Understanding how an organization’s culture affects its risk profile
Understanding the factors that affect risk
Industry dynamics
Business structure
Size of the business in $$
Size of the business in EE
Products and services
Geographies served/Location of the operations
Size of the third-party or external stakeholder network
Controls already in place and mitigation history
Mission, vision, and values (espoused and lived)
Risk taxonomy of Key Indicators
KRIs (Key Risk Indicators)
KPIs (Key Performance Indicators)
KCI (Key Control Indicators)
BEICFs (Business Environment (BE) and Internal Control Factors (ICF))
Aligning to business activities and conditions, how to:
Determining whether any additional E&C communications (training or other) should be targeted systemically or by operating group on any given topic
Developing/enhancing E&C audit protocols, monitoring tools and other approaches to “checking” on both an enterprise-wide, local “level” and with “third-parties”
Identifying E&C risks and if additional controls are warranted
Establishing additional E&C oversight/reporting responsibilities for high-risk areas
Assessing whether incentives in any part of the Company pose an undue risk from a E&C perspective
Importance of metrics for measuring the effectiveness of E&C efforts
Identifying cultural or geographic E&C risks
Reporting program review and oversight to the Board
Understanding and utilization of the tools and methodologies for understanding ERM results
Radar Map
Heat Map
Risk Ranking
Venn Diagram

Session 4 – Leadership & Culture

Overview of HQP Principle 3:Leaders at all levels across the organization build and sustain a culture of integrity
Understanding Culture
Impact on employee behavior
Why the view is rosier at the top (ECI research)
Drivers of culture (ECI research)
Enforcement attitudes about the role of culture
Getting buy-in on the importance of culture
Ethical leadership in setting tone (ECI’s research)
Connecting and evangelizing E&C to business leaders
Performance metrics for leaders (ECI ERAs)
Strong cultures have two primary drivers:how do you develop them
Exploring what and how organizations find themselves in serious ethics and compliance trouble
Creating and Measuring Culture:
Communications
Tone at the Top
“Mood in the Middle”
Recruiting
Socialization and Training
Global Considerations
Third Parties (Vendor, Supplier, Agent)
Maintaining an Evolving Culture
Appraisal, Discipline and Reward Systems
Utilizing measurement tools and math

Session 5 – Encouraging Reporting

Overview of HQP Principle 4:The organization encourages, protects and values the reporting of concerns and suspected wrongdoing
Understanding Retaliation
Top 10 Forms of Retaliation (Perceived by Reporters of Misconduct)
NBES Research on Retaliation
7 Keys to Open and Non-Retaliatory Environments
Developing clear and effective code standards
Fostering a culture that values communication and admitting mistakes
Creating and advertising multiple communication channel
Understanding how and where incidents are reported
EE Reporting, Direct manager or another member of management, Ethics and Compliance Office (or Ombudsman), Local/Regional designates, Functional department (e.g., Finance, HR, Legal), Audit, Helpline/Hotline, Board Audit or Compliance Committee, Real time/near time Observation, Technology
Developing a consistent, repeatable review, triage and follow-up process for all reports and inquiries
Despite the SOX emphasis, most reports or allegations of misconduct go to managers
Training managers to understand the how and why of report intake
Best Practice Incident Helpline Reporting Flow Chart
Training managers to understand reporting triage steps
Training employees and other stakeholders how, what and where to communicate their feedback and concerns
Reasons for considering an outsourced helpline/hotline
Tracking Internal Reporting and Helpline/Hotline Metrics
Using internal reporting data to evaluate many areas of E&C programs and culture
Defining Reporting KPI and Metrics
Implementing a problem focused investigation process

Session 6 – Accountability & Continuous Improvement

Overview of Principle 5: The organization takes action and holds itself accountable when wrongdoing occurs
Interpreting the importance of accountability
Views about accountability by level (ECI research)
Procedural justice
Communicating disciplinary actions
Internal Investigations — How E&C Leaders control, execute and manage investigations of misconduct
How/when to bring in 3rd parties
Applying root cause analysis to understand what led to misconduct and prevent recurrence
Protecting whistleblowers and others participating in the investigation of misconduct from retaliation
Developing continuous program improvement
Reasons to evaluate program elements
Measuring the effectiveness of program activities
Providing evidence that the program is working and improving
Benchmarking – internal, nationwide surveys, industry data
Using Employee Surveys
Assessing compliance with policies and the law
Adjusting to changing economic and regulatory environment
Identifying training needs
E&C Standards used to Evaluate Programs
Steps for Effective Measurement (ECI Research)
Growing recognition of culture as a measure of program effectiveness
Using ROI as a measure for E&C function

Andrea Bonime Blanc

Earnie Broughton, LPEC

Senior Advisor, ECI

Completion of E2C qualifies you to take the Leadership Professional in Ethics & Compliance (LPEC) certification examination and obtain the LPEC designation.

E2C may be eligible for CEUs. Contact certification@ethics.org.

E2C Online Course Registration Rates
(includes all course materials, LPEC exam fee additional)

Member Non-Member Government/Non-profit
Individual                              $795 $995 $695
Group of 2 or 3 each (registered at the same time)        $695 $895 $595
Group of 4 or more each (registered at the same time) $645 $845 $545

** The Thursdays, August 9 – September 13, 2018 course is sold out.

Next course starts Thursdays, October 11, 2018.

Course dates:
Thursdays, October 11, 2018 noon-1:30 p.m.
October 18, 2018 noon-1:15 p.m.
October 25th noon-1:15 p.m.
November 1st noon-1:15 p.m.
November 8th noon-1:15 p.m.
November 15th noon-115 p.m.

**All times are eastern standard time**

LPEC Exam: Tuesday November 20, 2018 noon-2p.m. eastern standard time

 

 

Email certification@ethics.org for more information.

In-house Interested in learning more about customizable in-house opportunities?
Contact certification@ethics.org or call 703-647-2185

Cancellation Policy
Cancellations made at least 14 calendar days before the course start date will receive a full refund. Cancellations made after this date are not eligible for a refund, but a credit may be applied to a future course within 12 months.